DEREK R. KENT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOs. 2007008911201, 20080120014, 20080121587 TO: Departrnent of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Derek R. Kent, Respondent CRD No. 733133 Pursuant to Rule 9216 of FINRA Code of Procedure, Respondent, Derek R. Kent (Kent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2007008911201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	733133

Other names1

Also known as1

DEREK ROY KENT

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